NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David M. and Janice B. Butler Claimant vs. Alan Fox Respondent ) Case * 87-00086 Award On April 5, 1988, April 11, 1989 and April 18, 1989, the undersigned arbitrators heard the controversy between the parties Claimants David M. Butler and Janice B. Butler on, and by Respondent Alan Fox by order of the Superior Court of California, County of Alameda dat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } William 5. Miller Claimant vs. Letterman Transaction Services, Inc. Respondent(s) AWARD CASE NO, 87-00042 StitMHT OF ISSUES Claimant William S. Miller filed this action on March 8, 1966 against Letter-Ban Transaction Services, Inc. for misrepresentation and negligence in connection with Claimant's Investment in November 1980 of $30,000.00 In lette

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Eugene Passer Claimant vs. Case #87-00655 AWARD Blinder Robinson & Co., Inc. Respondent vs. Doran Greene Third-Party Respondent CASE SUMMARY Claimant Eugene Passer alleged that the Respondent Blinder Robinson & Co., Inc., acting through its employees, misrepresented with the intent to deceive, and fradulently induced the Claimant to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William L. Neve Claimant vs. ) ) Case #87-00613 Award Greenfield/Campbell, Inc. James E. Greenfield Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents set forth in submissions to arbitration signed by the parties on April 27, 1987 and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kalmon Low, Trustee of the Kalmon Low D.D.S., P.C. Retirement Trust Claimants vs. Shatkin-Lee Securities Company, Yves Hentic & Company, Inc. and Yves Hentic, individually Respondents Case #87-00572 AWARD CASE SUMMARY This proceeding was commenced initially on March 19, 1987 by Claimant »- Kalmon Low ("Or. Low"), as the Trustee of the Ka

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) / • ' JOHN 6. TAUSSIG, Jr., Attorney, ) >v n P.C. DEFINED BENEFIT ) \ •-;-, PLAN AND JOHN G. TAUSSIG, III ) , -. ~ Claimants ) ^v. and ) \ ) CASE NO. 87-01132 -• BLINDER, ROBINSON & CO., INC. AND ) and 87-00552 - JOHN 8EGLEY ) ) Respondents ) CASE SUMMARY In claims filed with the NASD on or about March 23, 1987 and on or about June 29,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alfred E. Schaer Mary Schaer vs. Claimants Case #87-00568 Award Oppenheimer & Co., Inc. Ross K. Mandell Respondents On December 15, 1988, March 21, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Alfred E. and Mary Schaer on February 16, 1986, and by Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Andricopoulos vs. Brooks, Weinger, Robbins & Leeds, Inc. Fred Wall Claimant Respondents / ) Case 187-00508 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents set forth in submissions to arbitration signed by the Claimant on March 30,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) DEAN ADAMSON, STEVEN BRESSLER, TED ) CONNELL, AUSTIN COOPER ET AL. ) ) Claimants ) and ) ) CASE NO. 87-00030 BEAR STEARNS, PAUL SCHLOSBERG AND ) RON PANZERA ) ) Respondents ) CASE SUMMARY Dean Adamson, Steve Bressler, Ted Connell, Austin Cooper, Janes Luther and Stanley Hersh (Adamson, Bressler, Connell, Luther, Hersh, and Coo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Estate of Alfred R. Heiman and 01-02490 Oklahoma City, Oklahoma Name of Respondents Summit Equities, Inc. REPRESENTATION OF PARTIES Estate of Alfred R, Heiman ("Claimant") was represented by Lee D. Sossen, Esq. Summit Equities, Inc. ("Respondent") was represented by Larry W. Johnson, Esq. CASE INFORMATION The Statement of Claim was filed on or abo